Assistant Director - Interim Supervision Support

Northwestern Mutual•Milwaukee, WI

2d•$108,160 - $162,240•Hybrid

About The Position

About the Job: The Assistant Director - Interim Supervision Support, within the Supervision division of Enterprise Compliance, will play a crucial role in co-leading the temporary support of Northwestern Mutual field network offices during times of reduced supervision capacity. This role is responsible for managing networking office support engagements, partnering with Managing Partners and home office partners to build strong supervision and compliance cultures, resolving complex and non-standard supervision issues, and developing others within this work. What You'll Do: Manage network office support engagements, including serving as the primary contact and relationship with office leadership and the lead field supervisor for offices, supported in execution by individuals in a second chair supervisor role within the interim support team Partner with and support Managing Partners in shaping strong supervision and compliance cultures within their offices, including influencing field leaders in supervision leadership as appropriate Work effectively with home office business partners at all levels of the organization as needed to support network offices optimally and share insights Represent the interim support program in appropriate forums, actively sharing insights on office culture, risks, challenges, and opportunities as the eyes and ears in network offices Resolve complex and non-standard supervision issues, communicating effectively to ensure alignment Act as a change agent when necessary, leading transformation, growth, and adoption and collaborating with other network office leaders as needed to advance outcomes Deliver closeout analysis and consultation to Managing Partners and home office partners at the conclusion of support engagements, identifying and sharing key takeaways, risks, and recommendations Identify and communicate insights and best practices across home office and field supervision teams Perform daily supervision tasks, including more complex and non-standard supervision work such as supervision plan management and documentation, supervision of higher complexity OBAs, handling of client complaints and contact, review of staff compensation proposals, etc. Execute proactive training as needed for Financial Representatives and staff on compliance, regulatory, or related topics Conduct onsite visits to network offices as appropriate during support engagements Elevate the consistency and quality of supervision by the interim support team through conducting proactive training and coaching, performing quality reviews and providing feedback, and developing others through shadowing opportunities

Requirements

Bachelor's degree or equivalent combination of education and experience
FINRA Series 7, 9/10, and 63 registrations are required. FINRA Series 7, 24, 4, 53, and 63 may be considered in lieu of S7, 9/10, and 63.
Active Life/Health licenses, or the ability to obtain within 3 months
Significant experience as a leader in the supervision space and performing supervision duties, or in consulting to distribution leaders on compliance and supervision, ideally within the Northwestern Mutual system
Strong communication skills and ability to handle highly sensitive communications and deliver feedback and difficult messages
Proven ability to identify issues, trends, and potential sales practice concerns with the purpose of escalating or addressing them
Profound decision-making skills, ability to use a mixture of analysis, experience, and judgement to assess risk, navigate ambiguity, and arrive at a conclusion or recommendation
Orientation toward working independently and prioritizing work effectively with minimal guidance
Strong leadership presence and proven ability to cultivate relationships, work effectively with people at all levels in an organization, and influence change with interpersonal savvy
Approachable and skilled in listening, partnering, and advocating with empathy
Financial services industry acumen; extensive working knowledge of standard industry and regulatory policies and procedures; and broad knowledge of Northwestern Mutual compliance systems, business models, and operational workflows
Role may include up to 10-20% travel to network offices
Attention to Detail: Focuses on specific details to spot and correct errors in advance of them being found and surpass quality expectations. Performs work with thorough proofreading for presentation, content, accuracy, and overall quality.
Cross Functional Partnering & Planning: Facilitates collaboration, communication, coordination, and planning with individuals and teams from different functions within the organization, and who have different areas of expertise, to achieve common goals.
Decision Making: Makes timely, data-driven decisions by understanding the probability of success, identifying risks, gathering business requirements, and developing value statements.
Industry Knowledge: Demonstrates extensive knowledge of common practices, regulatory considerations, market trends and the competitive landscape within a particular industry / sector to better understand and address unique client requirements, challenges, and context.
Policy & Procedure: Analyzes current policies and procedures, identifies gaps or areas for improvement, and develops and implements new policies and procedures to address those gaps. Ensures compliance with regulatory requirements and industry standards, as well as effectively communicates policies and procedures to employees and stakeholders. Understands the various components of a workflow, identifies bottlenecks, and implements improvements to increase productivity, reduce costs, and streamline operations.
Strategic Thinking: Uses critical thinking and knowledge of business demand to plan, design, prioritize and execute high impact initiatives and programs.

Responsibilities

Manage network office support engagements, including serving as the primary contact and relationship with office leadership and the lead field supervisor for offices, supported in execution by individuals in a second chair supervisor role within the interim support team
Partner with and support Managing Partners in shaping strong supervision and compliance cultures within their offices, including influencing field leaders in supervision leadership as appropriate
Work effectively with home office business partners at all levels of the organization as needed to support network offices optimally and share insights
Represent the interim support program in appropriate forums, actively sharing insights on office culture, risks, challenges, and opportunities as the eyes and ears in network offices
Resolve complex and non-standard supervision issues, communicating effectively to ensure alignment
Act as a change agent when necessary, leading transformation, growth, and adoption and collaborating with other network office leaders as needed to advance outcomes
Deliver closeout analysis and consultation to Managing Partners and home office partners at the conclusion of support engagements, identifying and sharing key takeaways, risks, and recommendations
Identify and communicate insights and best practices across home office and field supervision teams
Perform daily supervision tasks, including more complex and non-standard supervision work such as supervision plan management and documentation, supervision of higher complexity OBAs, handling of client complaints and contact, review of staff compensation proposals, etc.
Execute proactive training as needed for Financial Representatives and staff on compliance, regulatory, or related topics
Conduct onsite visits to network offices as appropriate during support engagements
Elevate the consistency and quality of supervision by the interim support team through conducting proactive training and coaching, performing quality reviews and providing feedback, and developing others through shadowing opportunities